Case Assessment Officer

at  CIRO OCRI

SKILLS AND COMPETENCIES:

• University degree, preferably in finance or economics
• Canadian Securities Course
• Conduct and Practices Handbook Course
• Minimum 2 to 3 years of financial industry experience
• Good understanding of CIRO’s Dealer Member rules and related policies, relevant securities legislation, policies and instruments.
• Knowledge of a Dealer Member’s operations, structure, the client’s relationship with a dealer, trading, settlement and clearing, and compliance systems and standards.
• Knowledge and understanding of various securities products.
• Strong written and verbal communications skills.
• Strong research, analytical and problem-solving skills.
• Good customer service, dispute-resolution and escalation skills.
• Good file management and organizational skills.
• Effective networking and relationship-building skills.
• Effective interpersonal and change-management skills.
• Demonstrated ability to work proactively and independently in order to prioritize and complete tasks within established timelines.
• Proficiency with a variety of computer software applications.

CULTURE AND WORKING ENVIRONMENT

Life at CIRO is purpose and performance- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.
Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.
Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

CORE RESPONSIBILITIES:

• Collect and analyze financial documents and prepare comprehensive reports and written responses that are timely, accurate and conveyed in plain language.
• Accurately assess and recommend the appropriate course of action for regulatory complaints related to dealer conduct.
• Maintain detailed records of regulatory complaints and adhere to policies and procedures for reviewing, analyzing, tracking and recording all Case Assessment matters.
• Prepare and issue detailed, concise letters relaying the outcome of the assessment to various stakeholders.
• Complete daily reviews of the submissions made in the ComSet database. Preparing summaries, analysis, and recommended course of action for each submission.
• Identify and escalate sensitive, urgent or unusual regulatory issues, evolving trends, policy issues or concerns.
• Assist with reporting and other departmental initiatives.

OUR PURPOSE AND OUR IMPACT

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future. Our mission is to serve Canadians by overseeing investment and mutual fund dealers as well as trading activity on Canada’s marketplaces to ensure safe and equitable trading and investments. As regulators, we understand that we are all investors, and therefore a career with us is a career with purpose protecting our future.